Mark G. Ponder - Nov 30, 2021 Form 4 Insider Report for ENTERPRISE FINANCIAL SERVICES CORP (EFSC)

Role
EVP, Chief Admin. Officer
Signature
/s/ MARK G PONDER
Stock symbol
EFSC
Transactions as of
Nov 30, 2021
Transactions value $
$10,128
Form type
4
Date filed
12/3/2021, 10:58 AM
Previous filing
Jun 4, 2021
Next filing
Jan 12, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction EFSC Common Stock Other $10.1K +257 +1.97% $39.41 13.3K Nov 30, 2021 Direct F1, F2
holding EFSC Common Stock 873 Nov 30, 2021 401(K) Plan F3
holding EFSC Common Stock 200 Nov 30, 2021 Self IRA

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding EFSC Non Qualified Stock Option (Right to Buy) 4.52K Nov 30, 2021 Common Stock 4.52K $43.81 Direct F4
holding EFSC Restricted Share Units 390 Nov 30, 2021 Common Stock 390 Direct F5, F6
holding EFSC Restricted Share Units 531 Nov 30, 2021 Common Stock 531 Direct F5, F7
holding EFSC Restricted Share Units 857 Nov 30, 2021 Common Stock 857 Direct F5, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the Issuer's 2018 Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of June 1, 2021 through November 30, 2021. This transaction is exempt under Section 16b-3(c).
F2 In accordance with the terms of the ESPP, the reported shares were acquired based on 85% of the closing price of the Issuer's common stock on November 30, 2021.
F3 The reporting person holds units in the stock fund and the number of shares reported as indirectly held in the 401 (k) plan in this row is an estimate of the number of shares of the issuer's Common Stock held in the unitized stock fund and allocated to the reporting person's account.
F4 This option becomes exercisable after a three year period on 2/25/24.
F5 The RSU's were granted pursuant to the Company's 2018 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock, subject to adjustment as provided in the Grant Agreement.
F6 The RSU's vest 100% in the first quarter of 2022, subject to continued employment by the reporting person.
F7 The RSU's vest 100% in the first quarter of 2023, subject to continued employment by the reporting person.
F8 The RSU's vest 100% in the first quarter of 2024, subject to continued employment by the reporting person.